Cheryl Johnson - Feb 8, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Human Resources Officer
Signature
/s/ Barbara Thomas, POA for Cheryl H. Johnson
Stock symbol
CAT
Transactions as of
Feb 8, 2022
Transactions value $
-$599,499
Form type
4
Date filed
2/10/2022, 12:41 PM
Previous filing
Jan 10, 2022
Next filing
Mar 8, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +7.37K +45.31% $0.00 23.6K Feb 8, 2022 Direct F1
transaction CAT Common Stock Tax liability -$599K -2.99K -12.63% $200.77 20.7K Feb 8, 2022 Direct F2
holding CAT Common Stock 165 Feb 8, 2022 Held by 401(k) Plan F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 4, 2019.
F3 The information in this report is based on a 401(k) plan statement dated as of January 31, 2022.